Our Staff has compiled our research into a database of FINRA Broker Disclosures for Merrill Lynch, Pierce, Fenner & Smith Incorporated. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Roberto Estuardo Clynes | 5089626 | 1 | 03/18/2016 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Stephen P Melz | 1932994 | 1 | 03/18/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alisa Jane Chanpong | 4051634 | 2 | 03/17/2016 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| Matthew Kucera | 1086604 | 5 | 03/10/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Javier Estremera | 3139409 | 11 | 03/08/2016 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Todd Eric Dambrauskas | 4025318 | 3 | 02/19/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kirk Allen Lippert | 2264782 | 1 | 02/19/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Phillip Martin Stern | 6317757 | 1 | 02/16/2016 | Customer Dispute | Closed-No Action | $56,000.00 | $0.00 | See FINRA Report |
| Colleen Elizabeth Cusick | 1235779 | 1 | 02/16/2016 | Customer Dispute | Denied | $63,000.00 | $0.00 | See FINRA Report |
| Joseph Scott Grippo | 2480651 | 2 | 02/16/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |